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POSITIVE CONTROL (PTC) FREQUENTLY ASKED QUESTIONS DECEMBER 2019

WHAT IS PTC? HOW IS ’S PTC FUNDED? Positive Train Control (PTC) is a complex signaling and The PTC Project is funded through a combination of local, regional, communications technology that is designed to make commuter state, and federal sources. rail even safer. It is a federal mandate for railroads across the country to adopt PTC. PTC serves as a redundancy that overlays with existing safety and $ 29,753 PROP 1B - STATE signaling systems. PTC is intended to prevent: $ 57,669 • Train-to-train collisions LOCAL • Over-speed derailments $ 96,635 • Incursions into established work zone limits and FEDERAL • The movement of a train through a mainline switch in the $105,445 PROP 1A - STATE improper position

TOTAL: $ 289,502 HOW DOES PTC WORK? PTC is a communications-intense technology that transmits WHAT TYPE OF ACCIDENT WILL NOT BE data between and communications towers using wireless Internet, GPS, and encrypted radio transmissions. It requires PREVENTED BY PTC? installation of tens of thousands of sensors on train tracks and While PTC will prevent many types of incidents and will make our and a data center to analyze the information. safe systems even safer, PTC will not prevent accidents such as collisions at grade crossings due to trespassing on the tracks. PTC uses the sensors and integrated monitoring systems to track key movement on trains and conditions on rail tracks in real time, identifying potentially hazardous situations. If an unsafe situation WHAT IS THE FEDERAL PTC MANDATE? arises, PTC automatically will trigger a train’s braking system in In response to a fatal train collision in September 2008, Congress order to prevent an accident, such as a train-to-train collision. passed the Rail Safety Improvement Act (RSIA) of 2008, which updated the Code of Federal Regulations (CFR) to require PTC WHAT IS THE STATUS OF CALTRAIN’S to be installed along every passenger rail corridor prior to PTC PROJECT? December 31, 2015. In October 2015, the statutory deadline for Caltrain has met the following milestones: PTC implementation was extended to 2020, provided that certain • Installed all necessary PTC hardware milestones were met and approved by the FRA by December 2018. • Trained the required personnel • Leased the required spectrum • Received FRA approval of Substitute Criteria and have met WILL CALTRAIN SERVICE BE INTERRUPTED that criteria OR WILL FINES BE IMPOSED? • Commence Revenue Service Demonstration (RSD) No. Caltrain operations for passengers are not going to be • Interoperable with UPRR and ACE interrupted. Since Caltrain is on schedule to be fully compliant with the law, no fines are expected. Caltrain will complete interoperability with all tenants by April of 2020 and receive FRA PTC certification by December of 2020.

FOR MORE INFORMATION www.caltrain.com/PTC [email protected] 650.508.7726 ®

POSITIVE TRAIN CONTROL (PTC) FREQUENTLY ASKED QUESTIONS DECEMBER 2019

The required milestones, as defined in 49 U.S.C. 20157(a)(3)(B), are: HOW DOES COMMUTER RAILROAD • Install all PTC hardware (wayside and onboard equipment) SAFETY COMPARE TO OTHER FORMS OF • Acquire all necessary spectrum for PTC implementation TRAVEL SUCH AS AUTOMOBILES? • Complete all employee training Per the American Public Transportation Authority, traveling by • Initiate testing on at least one territory subject to the PTC and intercity rail is 18 times safer than traveling requirement (or other criteria) by automobile. • Submit a plan and schedule to the Secretary of Transportation for implementing a PTC system SHOULD I WORRY ABOUT RIDING CALTRAIN BEFORE THE IMPLEMENTATION INTEROPERABILITY: WHAT IS IT AND OF PTC? WHY IS IT NEEDED? No. Caltrain has an exemplary safety record. PTC will provide the A key provision of the Railroad Safety Improvement Act (RSIA) is that system with an additional check on potential dangers. host and tenant railroads must be equipped with PTC solutions that are interoperable and allow trains to freely and safely move between WHO HAS BEEN WORKING ON THE the different railroads. IMPLEMENTATION OF CALTRAIN PTC? The Caltrain PTC project will ensure that Caltrain, the host railroad, is Caltrain originally contracted with the Parsons Transportation interoperable with its tenant operators, which include: Group (PTG) in 2011 for PTC implementation, but had to • (UPRR), which operates freight rail terminate that contract in February of 2017 due to poor service performance. Caltrain then negotiated and entered into a contract • Passenger rail operators including Joint with Wabtec Railway Electronics in March of 2018, and the project Power Authority, Altamont Commuter Express (ACE), and is now back on a schedule that will keep in compliance with FRA . In addition, the High Speed Rail Authority requirements. (CHSRA) or its designated operating agent is considered a future tenant operator with planned HSR service between San WILL PTC CHANGE A CITY’S EXISTING Francisco and San Jose. SIGNALING INFRASTRUCTURE? Likewise, Caltrain is a tenant on the UPRR between San Jose and No. PTC is an overlay system and the existing wayside signal Gilroy. Caltrain will need to test its trains on the UPRR track to system will remain intact. The interface to the city’s traffic signal ensure interoperability with the UPRR system. system from the highway-grade crossing system will remain the same.

WOULD PTC PREVENT AN INCIDENT SIMILAR TO THE DECEMBER 2017 TRAIN DERAILMENT IN WASHINGTON STATE? Yes. PTC will prevent over-speed derailments by enforcing speed limits. If an operator ignores the speed limit, the PTC equipped train will automatically activate the brakes to slow the train down and prevent unsafe travel.

FOR MORE INFORMATION www.caltrain.com/PTC [email protected] 650.508.7726 ®